Gen.electric Regulatory News (GEC)

UNITED STATES SECURITIES AND EXCHANGE COMMISSIONWashington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940

1. Name and Address of Reporting Person *

Miller Jamie S

2. Date of Event Requiring Statement (MM/DD/YYYY)

11/1/2017 

3. Issuer Name and Ticker or Trading Symbol

GENERAL ELECTRIC CO [GE]

(Last) (First) (Middle)

GENERAL ELECTRIC COMPANY, 41 FARNSWORTH STREET

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director _____ 10% Owner___ X ___ Officer (give title below) _____ Other (specify below)Senior Vice President /

(Street)

BOSTON, MA 02210

(City) (State) (Zip)

5. If Amendment, Date Original Filed (MM/DD/YYYY)

6. Individual or Joint/Group Filing (Check Applicable Line)

_ X _ Form filed by One Reporting Person___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned

1.Title of Security(Instr. 4)

2. Amount of Securities Beneficially Owned(Instr. 4)

3. Ownership Form: Direct (D) or Indirect (I)(Instr. 5)

4. Nature of Indirect Beneficial Ownership(Instr. 5)

Common Stock

240207

D

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)

1. Title of Derivate Security(Instr. 4)

2. Date Exercisable and Expiration Date(MM/DD/YYYY)

3. Title and Amount of Securities Underlying Derivative Security(Instr. 4)

4. Conversion or Exercise Price of Derivative Security

5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)(Instr. 5)

6. Nature of Indirect Beneficial Ownership(Instr. 5)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

Restricted Stock Units

(2)

(2)

Common Stock

15000

(1)

D

Restricted Stock Units

(3)

(3)

Common Stock

30000

(1)

D

Restricted Stock Units

(4)

(4)

Common Stock

18000

(1)

D

Restricted Stock Units

(5)

(5)

Common Stock

40000

 (1)

D

Restricted Stock Units

(6)

(6)

Common Stock

16000

 (1)

D

Restricted Stock Units

(7)

(7)

Common Stock

50000

 (1)

D

Restricted Stock Units

(8)

(8)

Common Stock

21000

 (1)

D

Employee Stock Option (right to buy) (9)

9/7/2013

9/7/2022

Common Stock

325000

$21.59

D

Employee Stock Option (right to buy) (9)

9/13/2014

9/13/2023

Common Stock

350000

$23.78

D

Employee Stock Option (right to buy) (9)

9/5/2015

9/5/2024

Common Stock

400000

$26.10

D

Employee Stock Option (right to buy) (9)

9/11/2016

9/11/2025

Common Stock

150000

$24.95

D

Employee Stock Option (right to buy) (9)

9/9/2017

9/9/2026

Common Stock

150000

$30.11

D

Employee Stock Option (right to buy) (9)

9/6/2018

9/6/2027

Common Stock

150000

$24.92

D

Explanation of Responses:

(1) 

1-for-1

(2) 

75,000 units granted on 7/25/2013; 15,000 units vested on 7/25/2014; 15,000 units vested on 7/25/2015; 15,000 units vested on 7/25/2016; 15,000 units vested on 7/25/2017; and 15,000 units are scheduled to vest on 7/25/2018.

(3) 

75,000 units granted on 7/24/2014; 15,000 units vested on 7/24/2015; 15,000 units vested on 7/24/2016; 15,000 units vested on 7/24/2017; 15,000 units are scheduled to vest on 7/24/2018; and 15,000 units are scheduled to vest on 7/24/2019.

(4) 

30,000 units granted on 9/11/2015; 6,000 units vested on 9/11/2016; 6,000 units vested on 9/11/2017; 6,000 units are scheduled to vest on 9/11/2018; 6,000 units are scheduled to vest on 9/11/2019; and 6,000 units are scheduled to vest on 9/11/2020.

(5) 

50,000 units granted on 7/28/2016; 10,000 units vested on 7/28/2017; 10,000 units are scheduled to vest on 7/28/2018; 10,000 units are scheduled to vest on 7/28/2019; 10,000 units are scheduled to vest on 7/28/2020; 10,000 units are scheduled to vest on 7/28/2021.

(6) 

20,000 units granted on 9/9/2016; 4,000 units vested on 9/9/2017; 4,000 units are scheduled to vest on 9/9/2018; 4,000 units are scheduled to vest on 9/9/2019; 4,000 units are scheduled to vest on 9/9/2020; 4,000 units are scheduled to vest on 9/9/2021.

(7) 

50,000 units granted on 7/27/2017; 25,000 units are scheduled to vest on 7/27/2020; 25,000 units are scheduled to vest on 7/27/2022.

(8) 

21,000 units granted on 9/6/2017; 4,200 units are scheduled to vest on 9/6/2018; 4,200 units are scheduled to vest on 9/6/2019; 4,200 units are scheduled to vest on 9/6/2020; 4,200 units are scheduled to vest on 9/6/2021; 4,200 units are scheduled to vest on 9/6/2022.

(9) 

The options become exercisable in five equal installments of 20% each beginning on the "Date Exercisable" shown to the right, and another 20% become exercisable each year thereafter.

Reporting Owners

Reporting Owner Name / Address

Relationships

Director

10% Owner

Officer

Other

Miller Jamie SGENERAL ELECTRIC COMPANY41 FARNSWORTH STREETBOSTON, MA 02210

Senior Vice President

Signatures

Brian Sandstrom on behalf of Jamie S. Miller

11/3/2017

** Signature of Reporting Person

Date

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.

*

If the form is filed by more than one reporting person, see Instruction 5(b)(v).

**

Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

Note:

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